Benjamin D. Duggan
Professional summary
Benjamin Dexter Duggan, who also goes by Ben Duggan, Benjamin Dexter Duggan, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Escondido, California and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Benjamin has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Dexter Duggan's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
July 8, 2024 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111March 26, 2021 - June 2, 2021
KEY INVESTMENT SERVICES LLC
December 7, 2016 - June 2, 2021
KEY INVESTMENT SERVICES LLC
December 11, 2015 - September 21, 2016
MSI FINANCIAL SERVICES, INC.
March 3, 2014 - October 10, 2014
HAZARD & SIEGEL ADVISORY SERVICES LLC
September 2, 2011 - August 1, 2013
NEWEDGE SECURITIES, LLC
June 30, 2010 - March 10, 2011
WALL STREET FINANCIAL GROUP, INC.
February 4, 2010 - March 10, 2011
WALL STREET FINANCIAL GROUP, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 7TO
Date: 7/6/2024
General Securities Representative ExaminationFINRA
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
